Assessment (Coursework, Tests And
Examinations) Procedures
Application
These procedures apply to all staff members, and students enrolled in
undergraduate and postgraduate taught courses offered by
the University.  Separate policy and guidance documents govern the
examination of sub-doctoral and doctoral students.
Purpose
To provide information for staff and students about processes
of assessment in undergraduate and postgraduate taught courses. These
procedures should be read with the Assessment (Coursework, Tests and
Examinations) Policy (the “Policy”).
Background
The policy and procedures are underpinned by the University’s assessment
principles, which outline the University’s approach to fair and transparent
assessment that contributes to student learning.
The Assessment (Coursework, Tests and Examination) Procedures are
reviewed annually by the Provost’s Office and Assessment Services, and
approved by Senate and Council through Education Committee.
Note: specific tasks by role and assessment procedure for undergraduate and
postgraduate taught courses are outlined in the Policy, and further detailed in
Appendix 1.
Procedures
The role of course directors
1. A course director (and course coordinator, where that role is separate
from the course director) must be appointed for every course. The course
director is responsible for the design, approval, monitoring and
implementation of assessment at the course level. A course director may
delegate some responsibilities to a course coordinator.
•  A course director must be able to demonstrate to their academic head
that they are research-informed.
•  Teaching assistants, graduate teaching assistants and tutors are not
eligible to be appointed as a course director.

Role responsible: course director
2. Course directors are nominated and appointed by academic heads through
the Nominees Report available in Student Services Online (SSO/CS9), which is
submitted to Assessment Services.
•  academic heads must take into consideration the teaching experience
of any nominees for the role and ensure that they are research-
informed.
•  academic heads may replace a course director with an alternate if that
individual is not able to fulfil the role.
•  the deadline dates for submission of nominations are included in
Appendix 2.
Role responsible: academic head
Assessment design
Programme-level assessment design
3. Across courses and within the programme, the overall design of assessment
must provide opportunities for students to attain all programme capabilities.
Note: in programmes where students may choose multiple pathways for
progression, faculties have discretion to determine the ways in which
assessment design across the programme is as holistic as possible.
Role responsible: programme leader
4. When new programmes, majors or specialisations are put forward for
consideration by the Committee on University Academic Programmes (CUAP),
Academic Programmes Committee (APC) must receive information on how
planned assessment will meet programme graduate capabilities.
Role responsible: proposing faculty
5. Where possible, the timing of assessment tasks within a programme must
take into account the requirements of other courses to ensure assessment is
not ‘bunched’.
Role responsible: proposing faculty
Course-level assessment design

6. Assessment design for new courses is undertaken by academic staff at the
level of the academic unit or programme, and approval is a faculty
responsibility. Where assessment in new courses is proposed, faculty
processes must ascertain that it is appropriate, sustainable, and academically
sound, and that it aligns with the provisions of this policy.
Role responsible: Associate Dean Academic
7. Coursework must be allocated a percentage of marks awarded for the
course, the remainder being allocated to tests and the written examination.
These allocations are the responsibility of course directors.
Note: See Policy item 21
Role responsible: course director
8. To ensure coherence and alignment of assessment with learning objectives,
course directors are responsible for ensuring that:
•  assessment is designed and implemented in the context of the whole
course and its learning objectives
•  end-of-course reviews include an evaluation of assessment tasks and
outcomes across the course.
Role responsible: course director
9. Course directors are responsible for ensuring that where group assessment
forms part of a course:
•  the design of the assessment, including the size of working groups, the
mark composition, and assessment criteria must be determined by the
learning objectives of the material involved
•  students must be clearly informed of what is expected of them in a
group task, and exactly what is being assessed.
Note: see Policy item 18
Role responsible: course director
10. Course directors must ensure that courses do not allocate weighted items
of assessment for attendance (as distinct from participation). Where marks
are awarded for participation there must be a clear description of the criteria
against which performance will be measured.
Role responsible: course director

11. Course directors must ensure that where question banks are maintained
for assessment tasks they are of sufficient size to allow the appropriate re-
design and cycling of questions. The problems set will be designed to test
higher-order thinking skills.
Role responsible: course director
12. Course directors are responsible for maintaining appropriate assessments
for concurrently taught courses.
Note: faculties must submit a three-yearly report to Academic
Programmes Committee to attest that courses taught concurrently are
assessed separately, with different assignments, tests and examinations
set for each level using methods and standards appropriate to the level
of enrolment. See Concurrent Teaching Policy.
Role responsible: course director
13. Associate Deans Learning and Teaching are responsible for approving
the use of plussage as appropriate to the structure of course assessment and
the learning outcomes to which they relate.
Role responsible: Associate Dean Learning and Teaching
14. Requests for exceptions to the following policy requirements will be made
to the faculty Associate Dean Learning and Teaching:
• approval for a plussage arrangement that allows less than 30% of the
final grade to be derived from coursework (see Policy item 21)
• approval for tests with a weighting higher than 20%, including take-
home tests, to be conducted in the final week of teaching (see Policy
item 22).
Note: In each case applicants must make the case for exemption based
on the specific academic circumstances of the course and must ensure
approval is granted before the deadline for submission of assessment
information in Course View.
Role responsible: Associate Dean Learning and Teaching
15. Requests for exceptions to the following policy requirements will be made
to Education Committee:

•  approval to have the component assessing individual contribution
worth less than 40% of a group work assessment (where that group
work assessment has a weighting of higher than 30% of the final
grade) (see Policy item 18).
Note: In each case applicants must make the case for exemption based
on the specific academic circumstances of the course and must ensure
approval is granted before the deadline for submission of assessment
information in Course View.
Roles responsible: course director and Education Committee
Assessment approval and information
16. Digital Course Outlines (DCOs) contain summary information on
assessments for each course, including assessment type, weighting, and
alignment with course learning outcomes. DCOs are approved by academic
heads and published by Associate Deans Learning and Teaching.
Roles responsible: course director, academic head, and Associate Dean
Learning and Teaching
17. Examination details (including examination mode and duration, plussage
arrangements, calculator and/or book restrictions if applicable, and any
special timetabling requests) are approved by the academic head and
submitted through the online course View application by the published
deadline.
•  The deadline dates for submission of examination details are included
in Appendix 2.
•  Changes made to assessment details after submission must be
approved by the academic head (or delegate) and re-submitted via
Course View.
Roles responsible: course director, examiners, and academic head (or
delegate)
Appointment of examiners, assessor and
Moderators in undergraduate or postgraduate
taught courses
18. Each course must be examined by more than one member of staff, or
examined by one member of staff and assessed by another. An academic head
may in exceptional cases, vary this requirement.

Roles responsible: examiners and academic head
19. Examiners and assessor are appointed through the Nominees Report
available in SSO which must be approved by the academic head and submitted
to Assessment Services. examiners and assessor appointed from within the
university system are not paid a fee.
• Professional teaching fellows and senior tutors appointed as
examiners or assessor must be able to demonstrate to their academic
head that they are research-informed (see item 1).
Role responsible: academic head
20. Changes in nominations of course director, examiner or assessor must be
advised to Assessment Services on the AS-44 Changes to Nominations Form
and approved by the academic head.
Role responsible: academic head
Management of assessment
Feedback to students
Note: see Assessment (Coursework, Tests and Examinations) Policy.
21. Feedback/feedforward to students on coursework may vary in method,
but must address performance against the learning objectives and criteria set
for the assessment task.
Role responsible: course director
22. Course directors must ensure that students receive feedback/feedforward
on an early assessment exercise in time to assist students to prepare for their
first substantive assessment.
Role responsible: course director
23. The University does not provide feedback to students, other than a grade,
on performance in examinations.
24. The University does not provide in all cases individual feedback on written
tests. Students will receive generic feedback on class performance in a test.
Advice to students

Note: see Assessment (Coursework, Tests and Examinations) Policy.
25. University and programme Graduate Profiles must be available to
students.
Role responsible: programme Leader
26. Course outlines must be published in Canvas no later than two weeks
prior to the start of teaching. Specific criteria for an assessment task must be
made available to students at the time a task is set.
Role responsible: course director or nominee
27. Students who intend to present all or part of an examination or
coursework in Te Reo Māori must give notice in writing to the course director
(or appropriate person) in the relevant faculty or academic unit within the
first week of the semester or the first week of the quarter in which the course
is being taught.
Role responsible: course director or course coordinator
28. A student may not use te reo Māori for coursework, tests or examinations
where:
•  a course is taught fully or partly in a language other than English or te
reo Māori and the course requires students to demonstrate their
knowledge and understanding in that language, or
•  where knowledge and understanding in the English language is central
to the objectives of all or part of the course.
Note: see Assessing Te Reo Māori in Coursework and Examination
Procedures.
29. Substantive changes to assessment arrangements that have been
approved and published cannot be made without approval:
•  Following the publication of the Canvas course and before the end of
the add/drop enrolment period, substantive changes to assessment
must be approved by the Associate Dean Learning and Teaching.
•  Following the add/drop enrolment period, substantive changes to
assessment must be approved by the Pro Vice-Chancellor Education.
•  All changes to assessment must be notified to students.
Roles responsible: Associate Dean Learning and Teaching or Pro Vice-
Chancellor Education

30. Minor changes to assessment arrangements may be made with the
approval of the academic head, and must be notified to students.
Role responsible: academic head
31. Students must also be clearly informed of a faculty or academic unit’s
approach to, and processes for:
•  submission of coursework and extensions
•  referencing
•  resubmission of work
•  Turnitin
•  digital assessment (where relevant).
Role responsible: course director
32. Students must be advised to retain their coursework after it has been
returned to them in case it later needs to be made available to the course
director before the final result for the course has been determined (unless a
copy is retained by the faculty).
Role responsible: course director
33. Individual examination dates and examination locations must be available
to students on SSO. Examination Instructions will be available online to every
student before each examination period.
Role responsible: Assessment Services
34. Students must be informed that they may not contact examiners, course
directors or any teaching staff about their performance in the course after
publication of provisional results in Canvas and before final examination
results are available on SSO.
Role responsible: course directors
35. Unless an exemption is approved past examination papers must be made
available on the Library and Learning Services Examinations Database.
Exemption requests are made to the Provost or delegate, through Assessment
Services.
Role responsible: Provost or delegate
Coursework and tests

36. When coursework and tests contribute to a percentage of the final results,
towards which a written examination also contributes, the examiner may at
their discretion make sure coursework and tests are available to the assessor
of the written examination.
Role responsible: examiner
37. If coursework (or coursework and tests) contribute 100 percent to the
final result and there is no final examination, coursework must be available to
the assessor, either in full or in such proportion as will permit effective
assessment.
Role responsible: assessor
Format
38. For ease of marking and submission to plagiarism detection software,
students are expected to present written assignments in a digital format,
except where the nature of the assessment task or discipline requires an
alternative format. Students are responsible for ensuring that the required
digital format is used for submission.
39. In cases where a student submits an assessment digitally for marking, in
the required format, and the file is then found to be corrupted or otherwise
inaccessible or unrecoverable the student must be given an opportunity to
resubmit the assessment without penalty.
Tests
40. Tests which count toward the final result for a course are not required to
be conducted under invigilated conditions. The use of in-person or digital
invigilation for tests will be determined by the Associate Dean Learning and
Teaching or delegate.
Role responsible: Associate Dean Learning and Teaching
41. Students with a permanent or temporary impairment affecting their
ability to sit tests under normal conditions can apply to sit under special
conditions, e.g., extra time, a writer, special equipment, separate room.
Note: see Special Conditions for Written Tests and Examinations Policy
42. Illness or misfortune affecting tests is covered by the regulations
governing aegrotat and compassionate consideration. Other circumstances,
such as sporting or work commitments, that prevent a student from sitting a

written test at the scheduled time are not covered by these regulations.
academic heads may take these circumstances into account and can be guided
by the criteria used for approving out-of-time and out-of-centre examinations
in making a decision.
Note: see items 163-172 for further information on aegrotat and
compassionate consideration for tests.
Role responsible: academic head
Marking assessment items
43. Coursework assessment and tests must be marked against the standards
and criteria set for the assessment task. Marking guides must be prepared
and be made available to all examiners and assessor in a course.
Roles responsible: course director, examiners/markers, or nominee(s)
44. Marks awarded must align with the University grade descriptors in
Appendix 3.
Role responsible: examiners / markers
45. Adjustment of marks may be undertaken where it is evident that the
assessment criteria and standards have not been consistently applied in an
individual assessment task.
46. Students affected must be advised as to the rationale for adjustment of
marks. Records must be kept within the academic unit and the Associate Dean
Learning and Teaching will submit a brief report to Education Committee on
these instances at the February and September meetings.
Roles responsible: academic head, Associate Dean Learning and
Teaching
47. Marks and grades for weighted assessment tasks must be made available
on Canvas.
Role responsible: course director
Receipt and return of coursework
48. Academic heads are responsible for ensuring the secure receipt and
confidential return of hard-copy coursework assignments.

Role responsible: academic head
49. Care must be taken to ensure personal privacy in the distribution of
student marks when returning hard-copy assignments and tests.
Storage and retention of coursework
50. Academic units must have processes to ensure secure storage of
assessment questions, coursework and records.
Role responsible: academic head
51. Academic units must retain student coursework and tests until the
nominated period for collection of work, or resolution of disputed marks, has
elapsed. This period is to be determined by the faculty and made clear to
students.
Role responsible: academic head
Examinations in undergraduate or postgraduate
taught courses
Requirement to sit an examination
52. In order to pass a course, a student must have completed to the
satisfaction of the examiners any prescribed examination unless eligible for
aegrotat or compassionate consideration.
Examination periods
53. The University examination period for semesters covers three weeks:
Week 1 – a short week from the first day of exams (Thursday) to the
first Saturday
Week 2 – from Monday to the second Saturday
Week 3 – from the following Monday to the next Monday, excluding
Sunday.
54. The University examination period for Summer School is Monday-
Wednesday in the week immediately following the end of the teaching period.
55. The University examination period for Quarters is Saturday in the week
immediately following the end of the teaching period.
Examination format and conduct

56. The standard format for a written examination is:
•  a three-hour examination plus ten minutes for reading time; or, a two-
hour examination plus ten minutes for reading time
•  questions are not known by the students in advance of the
examination, except where approved as per item 58.
•  For closed book examinations, students are not permitted to bring any
material into the examination. For restricted book or open book
examinations, students are only permitted to bring such materials into
the examination as directed by the course director, course coordinator
or examiner.
57. The standard format for a digital examination is:
•  a three-hour examination plus thirty minutes additional time for
uploading files and navigating the digital format; or, a two-hour
examination plus thirty minutes additional time for uploading files and
navigating the digital format
•  questions are not known by the students in advance of the
examination, except where approved as per item 58.
•  For closed book examinations, students are not permitted to bring any
material into the examination. For restricted book or open book
examinations, students are only permitted to bring such materials into
the examination as directed by the course director, course coordinator
or examiner.
58. Lecturers may announce during teaching the apportionment of the
questions in the final examination in relation to the material covered in the
course. Where examination questions are announced in advance, all or in part,
this must be approved by the course director or nominee.
Role responsible: course director
59. Teaching staff must ensure that where the apportionment of questions, or
the questions themselves, are announced in advance that this information is
published to students through a notice on Canvas or through email
communication. Once this announcement has been made, the examination
must be conducted in the notified format.
Role responsible: course director
60. The published duration of an examination, as well as calculator or book
designation, may only be changed with approval of the academic head.
Changes must be submitted to Assessment Services via course View.

Role responsible: academic head
61. An examination mode may include paper-based or digital delivery.
Examinations in digital modes may be completed as invigilated or non-
invigilated examinations.
Role responsible: Assessment Services
Examination setting
62. Examiners must prepare examination questions according to the
Guidelines for the Preparation of Examination Papers available from the
Assessment Services.
Role responsible: examiners
63. Where two or more examiners have been appointed in any course they
must confer in setting examination papers. Where a difference of opinion
occurs among examiners(s) and/or assessor, the academic head must, after
making due attempt to resolve the difference, determine the outcome.
Roles responsible: examiners, academic head
64. Examiners and assessor must observe strict confidence and maintain
security in the setting of examination questions and in the whole marking
process.
Roles responsible: examiners, assessor
65. Examination questions must be approved by the course director and
submitted for approval to Inspera (digital examinations) or through the
examinations paper submission website (paper based examinations)
Role responsible: course director
66. All examination papers (for paper-based examination) must be submitted
by Group Services by the deadlines specified in Appendix 2.
Role responsible: course director
During the examination
67. At least one examiner must be available and contactable for the duration
of the examination and must have a secure copy of the examination paper to
allow any questions from candidates to be addressed promptly.

Role responsible: examiners
Book designation of examinations
68. Unless otherwise specified, examinations will be Closed Book (CB). That is,
no written material may be brought into the examination location.
69. The designation for Restricted, Open and Supplied Book examinations
must be approved by the course director. See Appendix 4.
Role responsible: course director
Calculator designation of examinations
70. Details for the calculator designation of examinations are specified in
Appendix 5.
Special examination conditions
71. A student who is permanently or temporarily disabled in a manner which
affects their ability to undertake examinations under the prescribed
examination conditions may, upon production of the appropriate evidence,
obtain approval to be examined under conditions which take account of the
particular impairment.
72. Student applications for the approval of on-going special conditions for a
permanent impairment must be made no later than the end of the sixth week
following the commencement of lectures. Applications for temporary
conditions must be made as soon as possible.
Out-of-time and out-of-centre examinations
73. All students must sit examinations at the time and location specified
unless an out-of-time or out-of-centre examination is approved.
74. Faculty or academic unit staff must not give specific advice to students
about sitting examinations out of time or out of centre. Students must be
referred to Assessment Services for advice.
75. Out-of-time examinations are normally sat 24 to 48 hours after the
scheduled exam date. Students make a statutory declaration that they will not
communicate with other students sitting the same exam at a different time.
examiners are encouraged to write an alternative exam paper.
Roles responsible: Assessment Services, examiner

Music performance examinations
Undergraduate
76. All students must be examined by a panel of two, consisting of:
•  A member of the School of Music staff, normally the academic head or
nominee, who will act as a moderator for all examinations within any
one semester. Where the number of students is high, it may be
necessary to divide one semester’s examination entry into two groups
and to appoint two moderators
•  Another member of the School of Music staff, or if necessary or
appropriate, an external examiner of recognised standing in the
instrument.
77. The teacher must be in attendance to act as adviser to the examiners but
will not participate in the decision-making process.
78. Part 1 and 2 performance examinations are not open to the public. Part 3
performance examinations must be held as public recitals.
Postgraduate
79. All students must be examined by a panel of two, consisting of:
•  a member of the School of Music staff, normally the academic head or
nominee, who will act as a moderator for all examinations within any
one semester. Where the number of students is high, it may be
necessary to divide one semester’s examination entry into two groups
and to appoint two moderators
•  a specialist in the instrumental or vocal area being examined from
within the School, or from outside where necessary. This must not be
the teacher of the candidate.
80. Performance examinations for all postgraduate degrees must be held as
public recitals.
81. All postgraduate recitals must be video-recorded for assessment by an
external assessor with broad experience in tertiary performance examining.
Marking and assessing written examinations
Collection of scripts

82. Hand-written examination scripts (with the exception of students sitting
under alternative arrangements) will normally be available for collection from
the Examinations Centre an hour after the completion of the examination
Role responsible: examiners
83. Examiners of evening examinations must contact Assessment Services if
they intend to collect scripts after the evening sessions; otherwise they must
collect them the following day.
Role responsible: examiners
84. Staff collecting hand-written scripts must present their University of
Auckland staff ID card. examiners or nominee(s) must notify Assessment
Services in writing of an alternative staff member collecting scripts on their
behalf.
Role responsible: examiners
Marking examination scripts
85. Strict security must be maintained in the handling and storage of hand-
written and digital examination scripts.
86. Markers for hand-written scripts must tick or otherwise indicate that they
have read each question, and the final mark for each question must appear on
the script and/or at the front of the script book. Comments on the script must
not provide advice or feedback to students and must be limited to non-
confidential aide-memoires for the examiner(s).
Role responsible: markers
87. Interim marks and evaluative interchanges with other examiners or
assessor taking place before the final mark is settled must be held in
confidence. Interim marks or other information is to not be recorded on the
script.
Roles responsible: examiners, assessor
88. Hand-written or digital scripts are available to students on application to
Assessment Services.
Role responsible: Assessment Services
Illegibility of hand-written scripts

89. Candidates will be warned that where a hand-written examination script
is illegible, the examiner may award marks for only such parts of the script as
are legible and may leave the illegible parts unmarked. Every effort must be
made to complete the marking of a script; any parts that are unmarked
because of illegibility must be clearly identified on the script by the examiner.
Roles responsible: Assessment Services, examiner
90. Academic heads may invite a candidate to attend the University to read an
illegible script to an examiner. In such cases a second member of the academic
staff must be present throughout the proceedings.
Role responsible: academic head
Missing scripts
91. Where a student’s hand written script, or parts of a script, have been
misplaced prior to marking, the examiner must immediately inform
Assessment Services.
Role responsible: examiner
92. In cases where a digital examination file or part of a file is submitted for
marking and is then found to be corrupted or otherwise inaccessible or
unrecoverable, the examiner must immediately inform Assessment Services.
93. If all or parts of the missing script or file are unable to be located or
accessed, the student will be offered the opportunity to re-sit the missing
examination components, or to have their grade assessed based on available
coursework and examination marks through the AS-61 Assessed Grade
process.
Role responsible: Assessment Services
Moderation and adjustment of marks in
undergraduate or postgraduate taught courses
94. Academic units must have documented processes in place to ensure the
appropriate moderation and approval of results, before finalisation of marks
and grades. This may include:
•  the use of marking guides
•  reviewing a sample of work
•  reviewing borderline results
•  statistical analysis.

Role responsible: academic head
Final marks and grades
95. Assessment in the University is criterion-referenced, therefore it is not
expected that faculties conform to a specific grade distribution. Faculties may
monitor the distribution of grades with regard to factors such as past
performance and the size and selectivity of particular cohorts.
Role responsible: Associate Dean Academic
96. Final results will be expressed as a letter grade, with a corresponding
numerical mark, as outlined in Appendix 3.
97. There are ten pass grades, and three fail grades. A pass mark is 50% or
more.
98. Use of a 0.5 rounding scheme is considered standard practice and must be
applied consistently within programmes.
99. Final marks on grade or pass/fail boundaries may be reviewed by the
examiners on a case-by-case basis.
Ungraded pass / fail results
100. After application to Education Committee, a course may be approved to
carry an ungraded pass/fail result provided it meets the following criteria:
• the course involves a substantial amount of practical work (a
minimum of 60 percent). The work will usually be carried out over a
period of time in which the student is expected to acquire knowledge,
understanding and skills to a required standard. A fail indicates that
the student’s performance is below the minimum level of competence;
or
the course is a required part of a programme but carries no points.
Note: ungraded passes do not carry a grade point and are not included
in Grade Point Average calculations.
Postgraduate qualifications: Honours, Distinction, Merit
101. There is a consistent standard for the award of Honours in postgraduate
Bachelors Honours and Masters degrees, and Distinction and Merit in
Postgraduate Diplomas, and in Masters degrees that do not have a research
component of 30 points or above:

•  First Class Honours: GPA of 7.0 or above
•  Second Class Honours (first division): GPA of 5.5 – 6.9
•  Second Class Honours (second division): GPA of 4.0 – 5.4
•  Third Class Honours: GPA of 1.0 – 3.9 (Postgraduate Bachelors
Honours degrees only)
•  Distinction: GPA of 7.0 or above
•  Merit: GPA of 5.5 – 6.9.
Note 1: a GPA includes a decimal place only when more than one course
is involved. A 120 point programme comprised of a 120 point thesis or
research portfolio only ever carries a whole GPA numerical. A ‘B+’ result
(GPA of 6) in a 120 point thesis or research portfolio is, therefore,
required for the award of Second Class Honours (first division) in a 120
point degree. Second Class Honours (first division) cannot be awarded
for a ‘B’ result (GPA of 5).
Note 2: Rounding is permitted to one decimal place in determining the
overall GPA of a qualification (e.g., 5.46 may be rounded to 5.5; 5.75 may
not be rounded to 6.0).
Role responsible: examiner
Submission of final results
For a single course
102. For each class, enter a grade for each student.
Roles responsible: course director or delegate
103. Enter NA when the grade is not immediately available but expected at a
later date. The final grade must be submitted within the deadlines for
submission of results.
Roles responsible: course director or delegate
104. Enter DNS in all instances if the student did not sit the exam.
Roles responsible: course director or delegate
105. DNC (Did Not Complete) must be entered in the following circumstances:
•  where a student has gained more than 50 percent in a course but has
not completed the approved compulsory coursework; or

• where a student has gained less than 50 percent in a course without a
final examination because of the failure to complete coursework but
the entry of a fail grade would inappropriately represent the reasons
for failure or the level of achievement.
Roles responsible: course director or delegate
106. Where a student has applied for aegrotat or compassionate
consideration, the result must be for the work actually submitted at the
examination. If the student has been absent for any examination, the results
must be recorded as DNS even though the examiner may intend to
recommend an aegrotat or compassionate grade.
107. Assessment Services will enter NAX on the student record to indicate
when a final grade has been withheld for an academic misconduct
investigation.
Role responsible: Assessment Services
Deadlines for results submission - research
courses between 30 and 80 points (except
dissertations, research essays and research
projects)
108. The result must be submitted within three months of either the last day
of the semester in which the student was enrolled in the course or the last day
of an approved and enrolled extension.
Role responsible: faculty office
109. If, because of exceptional circumstances, a result cannot be submitted
within three months, the department must apply through its faculty office to
Assessment Services on the AS-73 Application for Late Results Submission
form for approval for late submission for a period of up to one year after the
last day of the semester in which the student was enrolled or the last day of an
approved and enrolled extension. The application must state the
circumstances and specify the date by which the result will be submitted.
Role responsible: faculty office
110. Applications will be approved by Assessment Services if the result is
unable to be submitted for the following reasons:
• Illness or other incapacity of an examiner or assessor

•  Dispute over the result.
Role responsible: Assessment Services
111. Applications falling outside of these criteria will be submitted to the
Provost or delegate for consideration.
Role responsible: Provost or delegate
112. If the result has not been submitted within one year of the deadline for
the course, a DNC grade will be entered.
Return of results
113. All results (except those which are individually-assessed) must be
submitted electronically via Canvas to Student Services Online.
Note: see instructions at www.auckland.ac.nz/examinations.
Roles responsible: course director, examiner, assessor
114. Only results returned to students in Student Services Online are official.
All marks or grades in Canvas are considered unofficial and may still be
subject to review.
Signing and approving results
115. Final grades must be reviewed by the examiner(s) and assessor and the
grades locked in Canvas.
•  Final grades will be approved by the course director by email to
[email address].
•  The course director and examiner(s) are confirming that the grades
are accurate and have been submitted on time.
•  The assessor, where appointed, is confirming that appropriate and
adequate academic standards are maintained.
Roles responsible: course director, examiner(s), assessor
Individually assessed results
116. Where undergraduate results, and postgraduate results (other than for
theses, research portfolios, dissertations, research essays and research
projects of 30 points or above), are individually assessed, an AS-65
Submission of Results for Individually Assessed Courses Form must be used.

Undergraduate Bachelors Honours results
117. The class of Honours for students completing Bachelors Honours
undergraduate degrees will be processed by the Records, Enrolments and
Fees Office.
Changes to results
118. Any changes to grades after the results have been submitted to
Assessment Services must be provided on an AS-58 Request for Changes to
Results Form. Changes must be signed by the academic head and the course
director nominated to sign results for that course. The reason for the change
to grades must be clearly stated.
Roles responsible: course director, academic head
Deadline for submission
119. Results must be submitted to Assessment Services by the dates specified
in Appendix 2.
Late submission of results
120. Any results not submitted by the published deadline must be notified to
Education Committee.
Role responsible: academic head
121. If, because of exceptional circumstances, a result cannot be submitted
within a fortnight of the deadline, the department must apply through faculty
group services to Assessment Services on the AS-73 Application for Late
Results Submission for approval of late submission for a period of up to three
months. The application must state the exceptional circumstances and specify
the date by which the result will be submitted.
Role responsible: academic head
122. Applications will be approved by Assessment Services if the result is
unable to be submitted for the following reasons:
•  non-standard coursework dates
•  late timing of practicums/practical examinations
•  illness or other incapacity of an examiner or assessor
•  an approved extension awarded to the student for the submission of
coursework

• study abroad courses
• a paper with more than 250 students scheduled in the last three days
of the examination period.
Role responsible: Assessment Services
123. Assessment Services will approve applications that meet the above
criteria. Any applications falling outside of these criteria must be submitted to
the Provost or delegate for consideration.
Role responsible: Provost or delegate
124. If the result has not been submitted within three months of the deadline,
a DNC grade will be entered.
Role responsible: Assessment Services
Disputed results – written examination papers
and coursework subjects for formal assessment
Disputes among examiners and/or assessor
125. In the event of a dispute among examiners or examiners and assessor
which cannot be resolved among themselves, the matter is to be referred to
the academic head for resolution in negotiation with the examiner(s) and
assessor(s).
Roles responsible: academic head, examiner, assessor
126. All documents relating to the examination and assessment and to the
dispute will be made available to the academic head. The academic head may
call for further written reports from the examiner(s) and any assessor(s). In
such a case, all prior documentation is to be made available to each examiner
and assessor.
Role responsible: academic head
127. The academic head, having considered all the documentation, will
provide a written report to all parties setting out their findings and proposing
a resolution. All parties must agree to this resolution in writing before it can
be adopted.
Role responsible: academic head

128. In the event that no agreement can be reached among the academic head,
the examiners and any assessor, all documentation relating to the
examination, assessment and dispute, will be referred by the academic head
to the dean of faculty.
Role responsible: academic head
129. The dean of the faculty or the dean’s nominee will, after reviewing the
documentation and making any other enquiries considered necessary and
appropriate, proposes a resolution in writing to all parties. All parties must
agree to this proposal in writing before it can be adopted.
Role responsible: dean or nominee
Disputes where an academic head is an examiner or assessor
130. In cases where the academic head is an examiner or assessor, the dean of
the faculty or nominee will act as the academic head. If the dean or the dean’s
nominee is unable to resolve the dispute, the matter will be referred to a
referee as under ‘referee’ below.
Dispute with the academic head
131. An academic head may, in pursuit of their duty of maintaining standards,
review examination scripts and results. If the academic head sees reason to
object, the matter is to be discussed with the examiner(s) and assessor(s).
132. If no agreement is reached, the academic head will call for written
reports from the examiner(s) and assessor(s), and will state in writing their
own grounds for objection. All of these documents will be made available to
the examiner(s) and assessor(s) for the purpose of further comment which
must be in writing.
Role responsible: academic head
133. In the event that no agreement can be reached among the academic head,
the examiner(s) and any assessor(s), all documentation relating to the
examination, assessment and dispute will be referred by the academic head to
the dean of the faculty.
Role responsible: dean or nominee
134. The dean of the faculty or the dean’s nominee will, after reviewing the
documentation and making any other enquiries considered necessary and

appropriate, propose a resolution in writing to all parties. All parties must
agree to this proposal in writing before it can be adopted.
Role responsible: dean or nominee
Referee
135. In any of the above cases, where there is still no agreement, the dean will
refer the matter and all documentation to the Chair of Education Committee
who will act as referee or appoint an appropriate independent academic as a
referee to consider the script or scripts and documentation or further
information as required.
Role responsible: Chair of Education Committee
136. The referee will determine the marks or results to be awarded. This
determination will be final.
Role responsible: referee
Conceded passes
Note: see Examination Regulations.
137. Conceded passes are awarded by the relevant faculty.
Role responsible: dean or delegate
Deferred results
Note: see Examination Regulations.
138. For the following degrees, results may be deferred in certain situations:
•  Bachelor of Education (Teaching English to Speakers of Other
Languages)
•  Bachelor of Medicine and Bachelor of Surgery: MBChB Parts II, III, IV, V
and VI
•  Bachelor of Nursing: BNurs Parts I, II and III
•  Bachelor of Optometry
•  Bachelor of Pharma
•  Bachelor of Physical Education
•  Bachelor of Social W
•  Bachelor of Sport, Health and Physical Education
•  Master of Social Work (Professional)
•  Graduate Diploma in Teaching (Early Childhood Education), Graduate

• Diploma in Teaching (Primary), Graduate Diploma in Teaching
(Secondary).
Announcement and publication
139. Final results must remain confidential until they are posted to students’
records and are available online. Students must be notified by email when
grades are posted.
140. Where a grade has been lowered after the result has been posted, the
department must advise both the student and Assessment Services in writing.
Role responsible: academic head
Recount of marks
141. Any student may have the marks awarded for their examination script
recounted. Application must be made no later than seven weeks after the last
day of the examination period.
Note: the fee for such a recount will be as prescribed in the Fees
Regulations.
142. A recount of marks must involve a careful rechecking of the marks
recorded by the examiner, and confirmation that no answer or any part of an
answer submitted by a student has been overlooked. Recounts must always
include a careful checking of the accuracy and inclusion of coursework marks.
The examiner will not be advised of an application for a recount of marks.
Role responsible: examiner
143. Students may apply for a recount of marks for written examination
papers only.
Aegrotat and compassionate consideration for
examinations
Note: Regulations govern aegrotat and compassionate consideration,
these procedures is to be read in conjunction with those regulations.
Scope
144. Aegrotat and compassionate consideration examination regulations
apply to work which counts towards the final result for a course and is
performed under examination conditions at a specified place and time, with
the exception of performance examinations.

145. The categories to be considered are:
•  Final written examinations
•  Formal practical or oral examinations
•  Final submissions in the practical and studio work in the faculty of
Creative Arts and Industries
•  Tests.
Advice to students
146. Students must be advised to enquire about aegrotat or compassionate
consideration if temporary illness or injury, or exceptional circumstances
beyond their control, have prevented them from sitting an examination, or
seriously impaired their examination preparation or their examination
performance. Students may contact Assessment Services or go to the
Examinations website for advice. The requirements are stringent, and it is
essential that students follow the correct procedures which are fully explained
on the application and website available online to every candidate before each
examination period.
Sitting examinations
147. Students is to be encouraged to sit examinations if possible. Medical or
other evidence must establish that a student is physically or mentally
incapable of sitting an examination. It is not sufficient for the student to be
unwell or to be faced with trying circumstances. Even if a student is advised
by their lecturer or doctor not to sit, the University’s medical or counselling
advisers will not approve a DNS unless justified by the evidence.
148. Students with a permanent or temporary impairment affecting their
ability to sit examinations under normal conditions can apply to sit under
special conditions, e.g., extra time, a writer, special equipment, separate room.
Note: see Special Conditions for Written Tests and Examinations Policy.
Method of application
Aegrotat consideration (temporary illness or injury)
149. Students must complete the online application and provide a statement
outlining how their temporary illness or injury have either prevented them
from taking the examination or impacted their performance and/or
preparation for the examination. The student must provide evidence in
support of their application where evidence can reasonably be obtained.
Whether evidence can be reasonably obtained is assessed by staff from
Assessment Services.

Compassionate consideration (other exceptional circumstances)
150. Students must complete the online application and provide a statement
outlining how their circumstances have either prevented them from taking
the examination or impacted their performance and/or preparation for the
examination. The student must provide evidence in support of their
application where evidence can reasonably be obtained. Whether evidence
can be reasonably obtained is assessed by staff from Assessment Services.
Application deadlines
151. An application must be submitted online no later than one week
(inclusive) after the examination. If more than one examination is affected, the
closing date is one week (inclusive) after the last examination affected.
Students must not wait for their examination results before submitting their
application.
Processing applications
152. Applications will be assessed by Campus Care, Assessment Services
and/or medical or counselling advisers to the University who consider the
student’s statement and evidence and agree it supports the application.
Further evidence may be requested from the student if it can be reasonably
obtained. Whether evidence can be reasonably obtained is assessed by staff
from Assessment Services.
Role responsible: Assessment Services
153. If the evidence is in order, the appropriate course director is requested to
make an academic assessment and determine whether an aegrotat or
compassionate consideration grade will be applied. Where the medical or
compassionate evidence does not support the application, an academic
assessment and determination is not requested.
Role responsible: course director
154. The course director must make their determination based on the criteria
for aegrotat and compassionate grades set out on the form, based on the
coursework, test and examination marks (if applicable), and when necessary,
the student’s performance in other courses, especially those in the same
degree. The options include no change of grade or that the student complete
an alternative assessment.
Role responsible: course director

155. Academic determinations are confidential and details must not be given
to students.
156. Changes to grades resulting from the aegrotat or compassionate process
is to not be submitted in the normal return of results process.
157. Forms is to be returned to Assessment Services as soon as possible,
within a week of receipt.
Academic requirements for aegrotat and compassionate grades
158. When determining an aegrotat or compassionate grade, the course
director must be able to certify that:
•  the student’s coursework in the course or performance in a test meets
the minimum pass standard; and
•  for a student who sat the examination, the mark attained in the
examination was lower than expected taking into account the student’s
coursework or test scores in the course; and
•  the student is clearly worthy of a pass in the course.
Role responsible: course director
159. Instead of determining an aegrotat or compassionate grade, the course
director may determine that the student must take another examination
which may be in the same form as the original exam or may differ, including
oral or written. Exceptional circumstances must apply, and these is to be
specified by the course director when outlining the reasons behind the
determination.
Role responsible: course director
160. No more than one third of the total point value credited to a degree or
diploma may be awarded with an aegrotat or compassionate grade.
Notification of outcome
161. Students will be advised in writing of the result of their application in all
cases, whether or not an aegrotat or compassionate grade is approved.
Reconsideration of applications
162. To apply for reconsideration a candidate must make an application no
later than one month from the date of the outcome letter in writing to the
Director, Student and Academic Services. See Examination Regulations.

Role responsible: Director, Student and Academic Services
Tests
163. A modified version of the examination procedures for aegrotat and
compassionate consideration applies to tests which count towards the final
result for a course.
164. Students who have been prevented from sitting a test or who consider
that their preparation for or performance in a test has been seriously
impaired, by temporary illness or injury or exceptional circumstances beyond
their control, must contact Assessment Services, the University Health and
Counselling Services or see the Examinations website for the online
application process.
165. Students is to be encouraged to sit the test if possible. The student’s
application must make it clear that the student was unable to attend or the
test performance was seriously impaired.
166. Students must submit the application form and evidence within seven
days after the date of the test. A late application may be accepted if
exceptional circumstances beyond the student’s control prevented them from
submitting the application by the due date.
167. Applications are assessed by Campus Care, Assessment Services and/or
medical or counselling advisers to the University who consider the student’s
statement and evidence to determine that it meets the requirements.
168. If the evidence is not in order, Assessment Services will notify the
student, and send a copy of the letter to the appropriate course director.
169. If the evidence is in order, the application form is sent to the appropriate
course director. This does not include the assessed medical or other evidence,
which is held by the University Health and Counselling Services.
170. The course director considers the application by taking into account the
medical and counselling advisers’ assessment of the evidence and then
approves one of the options set out on the form. These options are specified in
the Examination Regulations as permission to:
•  sit another written or computer-based test; or
•  receive a mark for the test based on the average of marks awarded for
other tests or exams; or
•  take a viva voce test; or
•  have the percentage of marks allocated to the test reallocated to the
examination.

171. The options on the form include no change, which may be appropriate for
a student who sits the test but obtains a mark in line with other comparable
assessment.
172. The student must be advised of the decision within 21 days of the test.
Deferred examinations (clinical and performance)
173. Students undertaking performance and clinical examinations who,
because of temporary illness or injury or exceptional circumstances beyond
their control, are unable to sit their examination on the date scheduled, may
apply to the academic head or programme leader for deferment of that
examination. The grounds for claiming illness, injury or exceptional
circumstances is to correspond with those used for aegrotat provisions set out
under the Examination Regulations and is to include where appropriate
evidence from University Health and Counselling Services.
Roles responsible: academic head, programme leader
174. The academic head or programme leader may grant a deferment until the
Friday of the first week of teaching in the following semester. In exceptional
circumstances, approval may be given by the dean on recommendation from
the academic head or programme Director, to extend this period. If, at this
time, the student is unable to undertake the examination, a fail grade of ‘Did
Not Complete’ (DNC) must be recorded.
Roles responsible: academic head, programme leader
Availability of examination scripts
175. By making application during the three months after the end of the
examination period for the examination, a candidate may obtain a copy of
their handwritten examination script. Applications must be made online and a
copy sent by email to the student. Candidates can view their digital
examination script on Inspera directly without making an application for a
period of three months after the end of the examination period.
176. If it is found that a question or section has not been marked, or there are
other errors of a similar nature, the academic head is to notify Assessment
Services of the amended grade stating the reason for the change. The student
will then be advised by email of their amended results.
Role responsible: academic head

177. Students are not permitted to seek a remarking of the script. If it has
been fully marked, the examiner’s judgement must stand. If a student seeks
advice in respect of the script, that advice must not cover detailed discussion
with the examiners of particular answers. Broad guidance may, however, be
given on the general thrust of the script or on examination technique by the
academic head or by an examiner specified by the academic head.
Role responsible: academic head
Storage and disposal of examination material
178. Examiners must keep hand-written examinations scripts only for the
minimum time required for marking. They must then hand the scripts over to
the department/faculty to arrange secure storage until at least four months
after the examinations. After that time hand-written examination scripts are
destroyed.
Role responsible: examiners
179. In the case of examinations in Fine Arts, Testimonials of Study need not
be so preserved.
180. Masters examination scripts must be retained until six months after the
assessment has been completed for any thesis, dissertation, or research
portfolio or project required.
Role responsible: examiners
Breaches of academic integrity
181. All instances where there is evidence of a breach of academic
integrity in undergraduate or taught postgraduate coursework, tests or an
examination must be dealt with under the provisions of the Student Academic
Conduct Statute.
182. All confirmed instances of academic misconduct are recorded on the
University’s Register of Academic Misconduct.
183. A student’s assessed work may be reviewed against electronic source
material using electronic detection software.
Disputes and complaints procedures
184. Students have the right to query an assessment process in coursework or
test that they believe to be unfair. See Resolution of Student Academic
Complaints and Disputes Statute.

Quality assurance of assessment
185. Assessment is quality assured through processes at the course, academic
unit, faculty and university level; details are specified in Appendix 6.
Definitions
The following definitions apply to this document:
Academic head means heads of departments, schools and other teaching and
research units; or a delegate such as a programme leader.
Academic misconduct means minor or major academic misconduct in
coursework, tests, or postgraduate examinations. Academic misconduct also
includes confirmed incidents of dishonest behaviour in examinations.
Apportionment with respect to written examination papers means the
distribution of questions on different topics to different sections of the paper
and their weighting in marks.
Assessment means the ongoing process of: establishing clear, measurable
expected outcomes of student learning; ensuring that students have sufficient
opportunities to achieve those outcomes; systematically gathering, analysing
and interpreting evidence to determine how well student learning matches
outcomes or expectations; using the resulting information to understand and
improve student learning.
For the purposes of these procedures, assessment includes:
• assignments during the teaching of a course, normally called coursework
• practical, aural and oral work
• written tests conducted under examination conditions
• ongoing assessment of competence or performance
• written (or performance) examination normally conducted at the end of the
semester or year
• by dissertation, thesis or other research projects.
Assessment Principles means the principles set out in the Assessment of
Student Learning Policy:
1. Assessment is learning-oriented through tasks which require the
understanding, analysis, synthesis and/or creation of new information,
concepts, and/or creative works.
2. Assessment design is coherent and supports learning progression within
courses and across programmes.
3. Assessment tasks are demonstrably aligned with course-level learning
outcomes, and programme and University-level Graduate Profiles.
4. Assessment is reliable and valid, and is carried out in a manner that is
inclusive and equitable
5. Assessment practices are consistent and transparent, and assessment
details are made available to students in a timely manner.

6. Feedback is timely and provides meaningful guidance to support
independent learning
7. Assessment design and practices support academic integrity.
8. Professional development opportunities and guidance related to the design,
implementation and moderation of assessment are available to staff.
9. Assessment is manageable and quality assured.
10. Assessment items are the property of the University; this includes:
examination papers; students’ completed examination scripts and other items
of assessment; marking guides; and students’ marks.

Associate Dean Academic is responsible for their faculty's academic
programmes, overseeing quality assurance and providing policy and strategic
advice on both new and current academic programmes and qualifications.
Associate Dean Learning and Teaching is responsible for the overall
development of teaching and learning in the faculty, including providing
policy and strategic advice to ensure that the faculty creates and fosters an
environment that enables a positive student experience.
Breach of academic integrity means dishonest or inappropriate practices
occurring in the preparation and submission of coursework, tests,
postgraduate research, or in the context of examinations.
Calculator means an electronic device capable of processing, storing or
retrieving information, which has the primary purpose of mathematical
calculation. It must be hand-held, self-powered and noiseless. It must not have
an audible alarm or facilities for transmitting or receiving information.
Concurrently taught is where students who are enrolled for courses at
different levels within qualifications attend some or all of the same classes.
This is different from the situation where students enrol in a course at a
higher level than might be expected and attend classes with more advanced
students.
Course coordinator is responsible for the administration and organisation of
the course and its assessment acting in conjunction with, and under the
supervision of, the course director.
Course director is responsible for the overall design and management of the
course to ensure that course design, assessment and delivery support learning
outcomes and are aligned to the relevant programme graduate profile.
Coursework means assessed components (such as assignments) within a unit
of study and does not include tests conducted under examination conditions.
In the case of practice disciplines, assessment components may involve
ongoing assessment of competence or performance.
Criterion-referenced means that judgements about student performance are
based on pre-determined standards and criteria and linked to specified course
learning objectives.
Examinations (for undergraduate and postgraduate taught courses) means

the formal testing of students under standardised conditions for a set period.
Examination conditions means the examination will occur at a specified time
and place, will be invigilated, and will be sat under conditions specified by the
examiner; or, for students with a permanent or temporary impairment, under
special conditions as approved through the Special Conditions for Written
Tests and Examinations Policy.
Feedback/feedforward means the provision of information in such a manner
that students are able to improve their work, knowledge, or competence in
later assessments.
GPA or Grade Point Average means an average calculated using a scale to
give each grade received a numerical value. ‘Did not sit’ and ‘did not complete’
results are counted as zero. ‘Withdrawals’ do not receive a numerical value.
Invigilated means a supervised examination or test. See ‘Examination
Conditions’.
Marking guides - for the purpose of this document - include rubrics,
assessment criteria, marking schemes and any tool or scheme used to assist in
the marking of items of assessment.
Moderation means a process intended to assure that an assessment outcome
is fair and reliable and that assessment criteria have been applied
consistently.
Programme leader means a programme director, major or specialisation
leader, or an equivalent with defined responsibilities for a specific
programme.
Plussage as defined by this policy is a method of calculating marks a student
has gained in a taught course by counting either: an examination or test mark,
or a combination of exam, test and coursework marks; whichever is to the
student’s advantage. Additional requirements for eligibility for plussage may
apply, including for example: a minimum result required in the examination; a
minimum standard for completion of coursework; and/or attendance at
laboratories or tutorials.
Note - an assessment arrangement where an agreed subset of coursework marks
is counted towards the final grade (e.g. best eight of ten quiz results) is not
considered plussage.
Staff member refers to an individual employed by the University on a full or
part time basis.
Substantive changes to assessment means a change to an assessment task
type, the weighting of an assessment task, or advancing the deadline of an
assessment tasks.
University refers to Waipapa Taumata Rau | University of Auckland and
includes all subsidiaries.

Key relevant documents
Include the following:
•  Assessing Te Reo Māori in Coursework and Examinations Procedures
•  Assessment (Coursework, Tests and Examination) Policy
•  Concurrent Teaching Policy
•  Examination Regulations
•  Examination of Sub-doctoral Postgraduate Research Components of 30
points and Above Procedures
•  Inclusive Learning and Teaching of Students with Impairments
Guidelines
•  Resolution of Student Academic Complaints and Disputes Statute
•  Special Conditions for Written Tests and Examinations Policy
•  Student Academic Conduct Statute
•  Student Charter
•  Student Retention Policy
•  University Graduate Profiles
Document management and control
Owner:
Pro Vice-Chancellor Education
Content manager:  Manager, Academic Quality
Approved by:
Provost – by delegated authority of Council
Date approved:   18 May 2023
Review date:
Annual review by Education Committee

Document Outline